COMPLIANCE CALENDER AS PER SEBI LISTING REGULATIONS SEBI LODR

COMPLIANCE CALENDER AS PER SEBI LISTING REGULATIONS


S. No.

Regulation No.
Particular of Regulation
Time Period of filing of Certificate
COMMON OBLIGATIONS TO LISTED ENTITY
1.        
7(3)

Submission a Compliance Certificate to the Exchange
Submission of Compliance Certificate to Stock Exchange certifying that all activities in relation to both physical and electronic share transfer facility are maintained either in house
or by Registrar to an issue and share transfer agent registered with the Board.
Within one month of end of each half of the financial year,
2.       
7(5)
Appointment/ Alteration of Share Transfer Agent


Company can manage in house Share Transfer Facility. But as and WHEN THE  TOTAL NUMBER OF HOLDERS OF SECURITIES OF THE LISTED ENTITY EXCEEDS ONE LAC,
the listed entity shall appoint Share Transfer Agent.
Intimate to the Stock Exchange such appointment or alteration within 7 days on entering into agreement
Shall be placed before the Board of Directors in subsequent Meeting.
3.       
13
Grievance Redressal Mechanism
The listed entity shall file with the recognized stock exchange(s)
§  a statement giving
·         The number of investor complaints pending at the beginning of the quarter,
·         Those received during the quarter,
·         Disposed of during the quarter and
·         Those remaining unresolved at the end of the quarter.
Within 21 days of
the end of the each
quarter.
Same statement
shall be placed
before the Board of
Director quarterly.
Obligations of listed entity which has listed its specified securities i.e. equity or convertible securities.
4.       
27(2)
Quarterly Compliance Report on Corporate Governance
·         The listed entity shall submit a quarterly compliance report on corporate governance in the format as specified by the Board.
·         Details of all material transactions with related parties shall be disclosed.
·         Report shall be sign Either by Compliance officer or Chief Executive officer
Within 15 days from the closure of quarter.
5.       
Proviso to
29(2)
Prior Intimation to SE about Board Meeting
Intimation about the Meeting in which Financial Results viz. quarterly, half yearly, or annual, as the case may be due for consideration.
At least 5 (Five) days in advance excluding the date of intimation & date of board meeting.
6.       
29(2)
Prior Intimation to SE about Board Meeting
Intimation about the Meeting in which following matters are due to consideration:
§  Proposal for Buyback of Securities
§  Proposal for voluntary delisting of Listing entity from the Stock Exchange(s)
§  Fund raising by following ways
-                  Further Public Offer, Rights Issue,  American Depository Receipts/Global Depository Receipts/Foreign Currency Convertible Bonds, qualified institutions placement, debt issue, preferential issue or any other method and for determination of issue price:

§  [1]Declaration/Recommendation of Dividend
§  Issue of Convertible Securities including convertible debentures or of debentures carrying a right to subscribe to equity shares or the passing over of dividend
§  Proposal for declaration of Bonus Securities.
 (Only if
At least 2 working days in advance excluding the date of intimation & date of board meeting.
7.       
29(3)
Prior Intimation to SE about Board Meeting
§  Any Alteration in the form or nature of any of its securities that are listed on the stock exchange or in the rights or privileges of the holders thereof.
§  Any Alteration in the date on which, the interest on debentures or bonds, or the redemption amount of redeemable shares or of debentures or bonds, shall be payable.
At least 11 working days in advance
8.      
General Meeting Intimation:

Intimation shall also be given in case of any Annual General Meeting or Extraordinary General Meeting or Postal Ballot that is proposed to be held for obtaining shareholder approval for further fund raising indicating type of issuance.
9.       
30(6)
Second Proviso
Outcome of Board Meeting
Disclosure with respect to events specified in sub-para 4 of Para A of Part A of Schedule III
Made within 30 Minutes  (thirty minutes) of the conclusion of the board meeting
10.   
30(6)
Disclosure of events or information
The listed entity shall first disclose to stock exchange(s) of all events, as specified in Part A of Schedule III, or information
As soon as reasonably possible and not later than twenty four hours from the occurrence of event or information
11.    
31(1)
Holding of securities & Shareholding Pattern separately for each class of securities.
listed entities which have listed their specified securities on SME Exchange, submit Statement of Share Holding
1 day prior to listing of its securities
Within 21 days from the end of each quarter
Within 10 days of
Capital restructuring.
12.   
31A(7)(c)
Event of Reclassification
The event of reclassification shall be disclosed to the stock exchanges as a material event in
accordance with the provisions of these regulations
within 24 hrs of occurrence of the event
13.   
32(1)
Statement indicating deviation(s) or
Variation(s)
Statement indicating deviation in use of proceeds from the objects stated in the offer document or explanatory statement to the notice for the general meeting (of public issue, rights issue, preferential issue).

quarterly basis to the stock exchange till such time the
issue proceeds have been fully utilized or the purpose for which these proceeds  were
raised has been
achieved.
14.   
33(3)(a)
Quarterly Financial Result
The listed entity shall submit quarterly and year-to-date standalone financial results to the stock exchange
within 45 days of end of each quarter, other than the last quarter
15.    
33(3)(d) & (e)
Annual Financial Result
The listed entity shall submit audited standalone financial results for the financial year,

within 60 days from the end of the financial year
16.   
33(3)(f)
Half Yearly Financial Result
submit as part of its standalone or consolidated financial results for the half year, by way of a note, a statement of assets and liabilities
Half yearly submission.
17.    
34(1)
Annual Report
Annual Report to RSE containing Audited Financial Statement, director’s report, MDAR.
Within 21 working days of its being approved & adopted in AGM.
18.   
35
The listed entity shall submit to the stock exchange(s) an Annual Information Memorandum in the manner specified by the Board from time to time.
19.   
37(1)
Draft scheme of Arrangement & Scheme of Arrangement.
listed entity desirous of undertaking a scheme of arrangement or involved in a scheme of arrangement, shall file the draft scheme of arrangement,
Before filling with Tribunal/ court as the case may be.
20.  
39(3)
Issue of Share Certificates
Information regarding loss of
share certificates and issue of
duplicate certificates.
within 2 days of getting its
information.
21.   
40(9)/(10)
Certificate from PCS
Certifying that all certificates have been issued within thirty days of the date of lodgement for
transfer, subdivision, consolidation,  renewal, exchange or endorsement of calls/allotment monies.
Within 1 month of the end of each half financial year.
22.  
42(2)
Record Date
Notice to Stock Exchange for the record date and specifying the purpose of record date
At least 7 working days before the
record date excluding the date of intimation & record date.
23.  
44(3)
Intimation to Stock Exchange regarding result of General Meeting
Details regarding the voting results in the format specified by the Board.
Within 48 hours of the
conclusion of
General Meeting
OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS NON-CONVERTIBLE DEBT SECURITIES OR NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES OR BOTH
24.  
50(1)
Interest/ Redemption due
The listed entity shall give prior intimation to the stock exchange(s) regarding interest due and redemption due
At least 11 working days before the date on which interest/
redemption amount of redeemable
shares/ debentures shall be
payable.
25.   
50(2)
Intimation to raise fund
intimation to raise funds to the stock exchange(s) wherein the proposal to raise funds through new non convertible debt prior to the meeting of board of directors securities or non-convertible redeemable preference shares shall be considered
prior to the meeting of board of directors
26.  
50(3)
Recommendation to Board Meeting
Intimation to stock exchange about the Board Meeting at which the recommendation or declaration of below given matter is proposed to be considered
·         issue of non convertible debt securities, or
·         any other matter affecting the rights or
·         interests of holders of non convertible debt securities or
·         non convertible redeemable preference shares

At least 2 working days before the
board meeting excluding the date of the intimation and date of the meeting
27.  P
52(1)
Half yearly Result
The listed entity shall PREPARE and SUBMIT UN-AUDITED or AUDITED financial results on a half yearly basis in the format as specified by the Board
Within 45 days at the end of Half
financial year
28.  
52(2)(a) proviso
Annual Result
The listed entity shall PREPARE and SUBMIT UN-AUDITED or AUDITED financial results on a half yearly basis in the format as specified by the Board
Within 60 days at the end of financial year
29.  
57(1)
Certificate.
Certificate Regarding Payment of Interest And Principal.
Within 2 days of interest due
30.  
60(2)
Record Date
The listed entity shall fix a record date for purposes of payment of interest, dividend and payment of redemption or repayment amount or for such other purposes as specified by the stock exchange
At least 7 working days before the
record date excluding the date of
Intimation & record date.
OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS
 INDIAN DEPOSITORY RECEIPTS
31.   
69(1)
Indian Depository Receipt holding pattern & Shareholding details
The listed entity shall file with the stock exchange the Indian Depository Receipt holding pattern on a quarterly basis
Within 15 days at the end of each
quarter.
32.  
70(1)
Financial Result
The listed entity shall file periodical financial results with the stock exchange
within such time as per the listing requirements of the home country
33.  
71(1)
Annual Report
The listed entity shall submit to stock exchange an annual report
at the
same time as it is disclosed to the security holder in its home cou
34.  
72(2)
Corporate Governance
The listed entity shall submit to stock exchange a comparative analysis of the corporate governance provisions that are applicable in its home country
within such time as per the listing requirements of the home country
35.   
78(2)
Record Date
Notice to stock exchange regarding record date.
At least 4 working days before the
record date.
OBLIGATIONS OF LISTED ENTITY WHICH HAS LISTED ITS SECURITISED DEBT INSTRUMENTS
36.  
82(1)
Issue new securities
its intention to issue new securitized debt instruments either through a public issue or on private placement basis
Prior to issue new Securitised
Debt Instrument.
37.   
82(2)
Intimation
the meeting of its board of trustees, at which the recommendation or declaration of issue of securitized debt instruments or any other matter affecting the rights or interests of holders of securitized debt instruments is proposed to
be considered
At least 2 working days before the
board meeting.
38.  
82(3)
Financial Information
submit such statements, reports or information including financial information pertaining to Schemes to stock exchange
Within 7 days from the end of month/ actual payment date.
39.  
87(2)
Record Date
Notice to RSE regarding record
date.
At least 7 working days before the
record date excluding the date of
intimation & record date



 (Author – CS Divesh Goyal, GOYAL DIVESH & ASSOCIATES Company Secretary in Practice from Delhi and can be contacted at csdiveshgoyal@gmail.com).

Disclaimer: The entire contents of this document have been prepared on the basis of relevant provisions and as per the information existing at the time of the preparation. The observations of the author are personal view and the authors do not take responsibility of the same and this cannot be quoted before any authority without the written

Comments

  1. please provide format of compliance certificate required under Reg 7(3) - Compliance Certificate by Share Transfer Agent.

    ReplyDelete

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